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Thomas C O'BRien

First Trust Advisors LP

Austin, TX

Wheaton, IL

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Current Employers
First Trust Advisors Lp

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-01-31
FL RA APPROVED 2025-01-27
IL RA APPROVED 2024-07-08
TX RA APPROVED 2024-07-03
  • MA RA
    APPROVED
    Since 2025-01-31
  • FL RA
    APPROVED
    Since 2025-01-27
  • IL RA
    APPROVED
    Since 2024-07-08
  • TX RA
    APPROVED
    Since 2024-07-03

Branch Locations

Ibc Building 500 West 5Th Street, 8Th Floor, Austin, TX 78701 • United States

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Good Threads Llc Bloomfield Hills MI 01/2017 06/2017
N/A N/A NJ 05/2016 01/2017
Wells Fargo Clearing Services Llc Boston MA 08/2018 06/2022
Ubs Financial New York NY 06/2017 12/2017
K & W Research Group New York NY 12/2017 07/2018
Morgan Stanley Austin TX 07/2022 06/2024
First Trust Portfolios L.P. Wheaton IL 07/2024 Present
First Trust Advisors L.P. Wheaton IL 07/2024 Present
  • 01/2017 → 06/2017
    Good Threads Llc
    Bloomfield Hills, MI
  • 05/2016 → 01/2017
    N/A
    N/A, NJ
  • 08/2018 → 06/2022
    Wells Fargo Clearing Services Llc
    Boston, MA
  • 06/2017 → 12/2017
    Ubs Financial
    New York, NY
  • 12/2017 → 07/2018
    K & W Research Group
    New York, NY
  • 07/2022 → 06/2024
    Morgan Stanley
    Austin, TX
  • 07/2024 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 07/2024 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-09-02
S63 Uniform Securities Agent State Law Examination 2018-04-30
  • S65 Uniform Investment Adviser Law Examination
    2022-09-02
  • S63 Uniform Securities Agent State Law Examination
    2018-04-30
Other Names
  • Thomas Obrien
  • Thomas O'BRien

View on SEC IAPD

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LBJ FAMILY WEALTH ADVISORS, LTD.
JAMES S. MARROQUIN, CFP
OSAIC WEALTH, INC.

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ALEXANDER BURTON YEAGER
Jonathan Martin Haefner
David Nathan Van Winkle
DILDA DEEPAK DALVI
ANNA VICTORIA BODINE
Stephanie Caroline Morgan
ROBERT KING HARRELL

Other Offices

AUSTIN MONEY MANAGEMENT CORPORATION · AUSTIN, TX
EVERLONG FINANCIAL · AUSTIN, TX
EDWARD JONES · Austin, TX
HARRELL INVESTMENT PARTNERS, LLC · AUSTIN, TX
WEATHERGAGE CAPITAL, LLC · AUSTIN, TX
LBJ FAMILY WEALTH ADVISORS, LTD. · AUSTIN, TX
JAMES S. MARROQUIN, CFP · AUSTIN, TX
OSAIC WEALTH, INC. · AUSTIN, TX

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